Investment Management Regulatory Update - January 2010
SEC Rules and Regulations
- SEC Adopts Amendments to the Custody Rule
- SEC Extends Expiration Date for Temporary Rule on Principal Trades with Certain Advisory Clients
- SEC Adopts Rule Amendments Requiring Increased Disclosure Regarding Leadership of Registered Management Investment Companies
- Revisions to Regulation D on the SEC’s Regulatory Agenda
Industry Update
- Private Fund Investment Advisers Registration Act Included in Sweeping Financial Reform Legislation Passed by the House of Representatives
- Extension of Temporary Stock Dividend Rules for Publicly Traded RICs and REITs
- Proposed Legislative Changes to the RIC Rules
- SEC Inspector General Recommends Changes to Process for Selecting Investment Advisers and Investment Companies for Examination
- Developments Regarding Pay-to-Play Practices
- SEC Discusses its Regulatory Reform Agenda for 2010
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